Compliance Management System
To implement our effort for Compliance together with our employees and external partners, we use different processes and measures. All of them are grouped together in our Compliance Management System (CMS).
We hereby orientate ourselves on the German Corporate Governance Code, which provides internally and nationally accepted recommendations for listed companies. The current version as of April 2017, contains the following amendment:
[The Board of Management] shall also institute appropriate measures reflecting the company's risk situation (Compliance Management System) and disclose the main features of those measures.
Following this recommendation, we have written down our CMS. The documentation is available here. The environment of the company is constantly changing and, thus, the documentation of the CMS is considered a dynamic paper. When significant changes occur, we amend the CMS accordingly.
Corporate Compliance Program
KUKA AG has set ethical standards and developed a corporate compliance program. The program is laid out in a Compliance Manual. It also contains details regarding the fundamental values at KUKA and the structure of the compliance organization. Points of contact and selected Group Policies can be found in this manual.
The manual is a guide for the members of the Executive Board, CEOs, executives, employees and authorized representatives of KUKA worldwide alike to ensure they conduct themselves properly.
The content of the Compliance Manual was revised in 2016. In the process, changes in the structure of the compliance organization were taken into account and some regulations were updated. In 2019 the Corporate Compliance Manual was adjusted to the changes in the corporate structure. Most recently, the 14th Group Policy “Information/ IT Security and Data Protection” was fully revised in 2021.
Please follow this link for the current version of the Compliance Manual.
The effectiveness of a Compliance program is directly linked to the effectiveness of the whistleblowing system in place. KUKA offers employees and external parties different ways to report potential Compliance concerns and complaints.
Depending on whether the desire for a personally known contact or anonymity is a priority, the person wishing to report an issue selects the appropriate contact option. The ombudsperson is available to external parties for anonymous reporting, and the Compliance Officers are available for non-anonymous reporting; employees of the company also have the option of contacting their manager or HR department directly.
Additionally, a web-based platform is available for employees and external parties to submit reports anonymously or non-anonymously, as desired.
The above-mentioned communication channels can be used to report all kinds of incidents where a Compliance violation is suspected. We explicitly point out that this includes violations of the Act on Corporate Due Diligence Obligations for the Prevention of Human Rights Violations in Supply Chains. Details on this can be found in the Rules of Procedure.
The whistleblower system is not intended for commercial inquiries, questions in connection with applications or other general questions. For this purpose, please contact the appropriate contact persons.
The following applies to KUKA employees: Issues relating to employment conditions, such as conflicts in the direct work environment, disciplinary measures or remuneration, should primarily be clarified with the direct internal contact persons on site.
The whistleblower system must not be used to make false accusations or knowingly report untrue information.
KUKA AG holds events on corporate compliance topics throughout the world in order to keep the knowledge of employees as up-to-date as possible. Electronic training courses are held on a regular basis and are mandatory for all employees worldwide, most recently in fall 2016; new employees are continuously invited to the electronic trainings.
These are supplemented by face-to-face trainings, which are aimed at different target groups and are also implemented worldwide. You can also read about the latest developments relating to compliance topics at KUKA in our current Annual Report.
We encourage our employees as well as external persons to contact us with any questions or information they may have in relation to Compliance. You can find a list of KUKA's Compliance Officers on this page and address your enquiry via email. The Compliance Officers will reply at their earliest convenience and treat your information with utmost discretion.